Benjamin Securities, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$33,609,905
Total clients
68
7% high-net worth
Total advisors
3
of 12 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
23
Average account size
$494,263
About
Benjamin Securities, Inc. provides investment advice and brokerage services to individuals (including high-net-worth clients), trusts, businesses, foundations, and retirement plans. The firm manages individually tailored accounts through portfolio management, traditional brokerage cash and margin accounts, separately managed accounts, covered call writing programs, and performance fee–based arrangements.
The firm’s investment process uses fundamental and cyclical analysis to identify opportunities, and it generally pursues a long-term strategy while employing short-term tactics for covered-call programs and performance-fee mandates. Benjamin Securities offers both discretionary and non-discretionary management, customizes accounts for tax and socially conscious restrictions, and keeps client assets individually managed rather than commingled.
Notably, the firm is dually registered as an SEC-registered investment adviser and a FINRA-registered broker-dealer and operates a correspondent relationship with a major clearing firm while also custodially using Interactive Brokers—an affiliation structure that is uncommon for peers. It receives research and software through its clearing relationship and participates in a money-market sweep revenue-sharing arrangement that reduces client sweep interest (creating a potential conflict of interest), and it conducts daily reviews for covered-call advisory accounts and monthly comprehensive reviews.
Client services
Expertise
Fee options
Up to 2% annually, negotiable based on account size, investment objectives, and services required
Commission-based fees available for brokerage services and certain products offered by registered representatives of the firm
Account minimum: $50,000 (with exceptions made on a case-by-case basis) Fee-only: Fee based on percentage of assets under management; no commissions for advisory fees
Main office location
Benjamin Securities, Inc.
421 New Karner Road, Suite 6
Albany NY 12205, United States
Number of offices
2
Most active in
Florida · Illinois · New York · Ohio
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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